Bradley Todd Glasman v. Hilltop Securities Inc.
|
Securities |
Respondent |
Apr. 12, 2019 |
William and Henry Associates v. Anna Marie Jacob
|
Securities |
Respondent |
Mar. 1, 2019 |
Jose Calderon v. Michael Lawrence Cruz, Finance 500 Inc., Robert Lansing Hicks, Eric Richard Marlin
|
Securities |
Respondent |
Dec. 21, 2018 |
Southwest Securities Inc. n/k/a Hilltop Securities Inc. v. Wyatt Thomas Farmer; Harvey Frank; Andrew Scott Harvey; Barry Edward Kersh; Brett David Levinson; Carla Renee Osbourne; Stifel, Nicolaus & Co. Inc.
|
Securities |
Claimant |
Oct. 6, 2017 |
Laurie Seeman, an individual; Michael Cadoo, individually and as owner and beneficiary of his IRA v. Timothy Lee Brown, Jeanine Colditz Devine, David John Down, Sarah F. Fong, James Bernis Lunsford, Mid Atlantic Capital Corporation
|
Securities |
Respondent |
Oct. 6, 2017 |
Kayvan Setareh, an individual, as trustee of the Pacific Capital Trust and executor of the estate of Rabi and Jalalat Setareh v. Shahram Elyaszadeh, E & E Mortgage Bankers Corporation, and Does 1 to 100
|
Contracts |
Plaintiff |
Sep. 22, 2017 |
Michael L. Kennedy 1998 Trust v. Berthel, Fisher & Company Financial Services Inc.
|
Securities |
Respondent |
May 28, 2016 |
Kenneth R. Hunt; Kenneth R. Hunt Revocable Trust U/A DTD 11/05/2009; Sharon Poulton; Sharon Poulton Revocable Trust U/A DTD 12/16/2009 v. Jeffrey Michael Fratarcangeli; Merrill, Lynch, Pierce, Fenner & Smith Inc.
|
Securities |
Respondent |
Jan. 16, 2016 |
Michael R. Smith, Carole Smith, NNN Parkway Corporate Plaza 10 LLC v. Berthel Fisher & Co. Financial Services Inc., John Shaw Notman
|
Securities |
Respondent |
Jan. 16, 2016 |
Richard A. Hingley, individually and as trustee of the Richard A. Hingley 1989 Trust and on behalf of the Richard A. Hingley IRA, and as successor trustee of the Louise P. Shetley Trust UAD 9/13/95 v. Crown Capital Securities L.P., Eric William Kuchel, Harold Glen Kuchel
|
Securities |
Respondent |
Sep. 13, 2014 |
Agnes Barrelet IRA, Agnes Cabane Barrelet Trust dated 10/09/2009, Agnes Barrelet v. NFP Securities Inc., Christopher Hudson Taylor
|
Securities |
Respondent |
Jun. 28, 2014 |
Harold Edmonson v. First Midwest Securities Inc. and Kyle Matthew Nonnenmann
|
Securities |
Respondent |
Apr. 5, 2014 |
Guadalupe Sandoval, Javier Chavez, Jose Fuentes, Maria Alonso, Roberto Nogales v. Charles Schwab & Co. Inc., Crowell, Weedon & Co., Fidelity Investments Institutional Services, Co. Inc., Fidelity Brokerage Services LLC, MAM Wealth Management LLC, Alexander Martinez, Morgan Stanley Smith Barney LLC, Rafael Sanchez
|
Securities |
Respondent |
Jan. 4, 2014 |
HCF Insurance Company, a California corporation v. Pasadena Healthcare Management Inc.; Pasadena Healthcare Services dba Castle View Senior Retirement Center; Castle View Retirement CE, Garfield Senior Care Center LLC; Garfield Care Center, and Pasadena Residential Care Center; Corona Care Convalescent Corporation dba Corona Care Convalescent Hospi
|
Contracts |
Plaintiff |
Jun. 22, 2013 |
Suzy Asad v ProEquities Inc., Mamdoh Aziz Abas
|
Securities |
Respondent |
May 25, 2013 |
Justin Paperny v. Damon David Johnson, Christine Marie Kreps, and Merrill Lynch, Pierce, Fenner & Smith Inc.
|
Securities |
Respondent |
Dec. 15, 2012 |
Michael S. Davis, Individually IRA Resources Inc. for the benefit of Michael S. Davis v. WFP Securities a/k/a WFP Securities Corp., John Evan Schooler, Curtis Jerome Sathre III, Warren Rees Homey, Western Financial Advisors, WFP Holdings Inc.
|
Securities |
Respondent |
Nov. 24, 2012 |
David Bergstein, an individual; Graybox, LLC, a Nevada limited liability company v. Teri Zimon, an individual, and Does 1 through 50, inclusive
|
Contracts |
Defendant |
Oct. 27, 2012 |
Jaimie Davis v. WFP Securities Corporation, Curtis Jerome Sathre III, John Evan Schooler
|
Securities |
Respondent |
Apr. 14, 2012 |
Kline Enterprises Inc. v. Securities America Inc., Brecek & Young Advisors Inc., Thomas Goodson, William Rice
|
Securities |
Respondent |
Feb. 4, 2012 |
May S. Hasso-Serrano Family Trust, et al. v. Rockwater American Municipal Fund, LLC, Rockwater Municipal Advisors, LLC, Bryan Williams, John Hapke, Charles Fish Investments Inc., Charles Fish
|
Torts |
Plaintiff |
Dec. 31, 2011 |
David Wolfson Living Trust v. Stockcross Financial Services Inc., Thomas B. Cooper, Peter L. Boom
|
Contracts |
Claimant |
Jan. 9, 2010 |
Ikho Kang, Unsoon K. Kang v. First Wall Street Corporation, John Openshaw, Barbara J. Ralston, Katherine Dudley, Charles P. Lazzaro
|
Securities |
Respondent |
Dec. 6, 2008 |